MANUAL CHANGE TRANSMITTAL - Form CEM-1202B Contractor Action Request¢â‚¬â€‌Assignment of Contract Monies,

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  • STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION

    MANUAL CHANGE TRANSMITTAL

    No. 19-4

    TITLE: Department of Transportation Construction Manual

    APPROVED BY:

    Bob Finney, Acting Chief Division of Construction

    DATE ISSUED:

    01-25-2019

    SUBJECT AREA Sections 5-1

    ISSUING UNIT

    Division of Construction

    SUPERSEDES

    July 2017 CM section

    DISTRIBUTION All Requested Manual Holders

    The purpose of this manual change transmittal is to announce updates and corrections to the Caltrans

    Construction Manual. The following section has been updated to reflect new policy and supersedes the

    corresponding section of the Construction Manual as previously published. Updated sections are available at

    http://www.dot.ca.gov/hq/construc/constmanual/ and are indicated by the date listed in the right-hand

    column on that page. Content changes are identified by change lines in the left margin.

    Section 5-1, “Project Records and Reports”

    Updates to lists of forms in Section 5-101B, “Construction Forms,” and 5-102C, “Description of Categories,” of

    project records to reflect changes to specifications on materials on hand, electrical systems, joint checks and

    construction grading:

    • Form CEM-2407, “Disadvantaged Business Enterprise (DBE) Joint Check Agreement Request,” documents an

    agreement between contractors and qualified subcontractors for payments for materials, to be filed on Category 24,

    “Disadvantaged Business Enterprises and Disabled Veteran Business Enterprises (DVBE),” of the project records.

    • Form CEM-3810, “Construction Grade Checking Report,” to grade verification and acceptance during construction.

    • Form CEM-5105, “Materials on Hand Summary,” to record and track material on hand payments according to

    guidance in Section 3-9, “Payment,” of the Construction Manual.

    • Form CEM-5803A, “Electrical System Inspection Checklist,” to document inspection of electrical systems and

    compliance with contracts.

    • Form CEM-5803B, “Detector Loop Inspection Checklist,” to document inspection of detector loops in electrical

    systems and compliance with contracts.

    • Form CEM-5819A, “Cable Verification Worksheet,” to document testing of fiber-optic cable, before installation,

    and compliance with contract requirements.

    • Form CEM-5819B, “Segment Verification Worksheet,” to document testing of fiber-optic cable, before splicing,

    and compliance with contract requirements.

    • Form CEM-5819C, “Link Loss Budget Worksheet,” to document testing of fiber-optic links before equipment is

    connected and compliance with contract requirements.

    Updates to lists of forms in Section 5-101C, “Materials Engineering and Testing Services Forms”:

    • Form TL-0624, “Inspection Release Tag,” to document METS inspection of materials. This and Form TL-0625 are

    to be filed in Category 41, “Report of Inspection of Material,” in the project records.

    • Form TL-0625, “Materials Suitability Tag,” to document that a quality assurance inspector has released materials to

    a job site.

    In Section 5-102C, “Description of Categories,” and in addition to categories already mentioned:

    http://www.dot.ca.gov/hq/construc/constmanual/

  • • Category 53, “Credit to Contract,” specifies that the subcategory on salvaged or surplus materials include reports on

    work to maintain and repair damage to state property unless caused by the contractor.

    • Changes E-FIS to AMS Advantage regarding electronic contract documents.

  • California Department of Transportation  Construction Manual  January 2019

    Project Records and Reports 5-1.i

    Chapter 5 Contract Administration

    Section 1 Project Records and Reports

    5-101 Forms Used for Contract Administration

    5-101A General

    5-101B Construction Forms

    5-101C Materials Engineering and Testing Services Forms

    5-101D Other State Forms

    5-101E Traffic Operations Forms

    5-101F Federal Forms

    5-102 Organization of Project Documents

    5-102A General

    5-102B Indexing

    5-102C Description of Categories

    5-102D Category Numbers and Headings

    5-102E Alphabetical Listing of Categories

    5-103 The Contract Administration System

    5-103A General

    Figure 5-1.1 Contract Administration System, Systems Interface

    5-103B Project Initiation and Update

    5-103B (1) Major and Minor A Contracts

    5-103B (2) Emergency Contracts in Excess of Minor B Limits

    5-103B (3) Completing Form CEM-6003, “Progress Pay—Estimate Project Initiation or Update”

    5-103B (3a) Project Key

    5-103B (3b) Card type C05 (each field is independent and can be updated separately)

    5-103B (3c) Card type C06 to C08

    5-103B (3d) Card type C09 to C14

    5-103B (3e) Card type C15

    5-103B (4) Processing

    5-103C Contract Transactions

    5-103C (1) Transaction Types

    5-103C (1a) Contract Item Transactions

    5-103C (1b) Miscellaneous Transactions

    5-103C (1c) Change Order Transactions

    5-103C (2) Completing Form CEM-6004, “Contract Transaction Input”

    5-103C (2a) Contract Item Entries

    5-103C (2b) Miscellaneous Transactions

    5-103C (2c) Change Order Transactions

    5-103C (2d) General

  • California Department of Transportation  Construction Manual  January 2019 5-1.ii Project Records and Reports

    5-103C (2e) Audit Trail

    Example 5-1.1 Quantity Calculation

    Example 5-1.2 Contract Transaction Input

    5-103C (3) Computer Processing

    5-103D Change Orders

    5-103D (1) Completing Form CEM-4901, “Contract Change Order Input”

    5-103D (1a) File

    5-103D (1b) Update

    5-103D (1c) Replace

    5-103D (1d) Delete

    5-103D (2) Edits

    5-103E Change Order Billing

    5-103E (1) Preparing Form CEM-4902, “Extra Work Report Bill (Short Form)”

    5-103E (1a) Basic Information (Title Page)

    5-103E (1b) Equipment

    5-103E (1c) Other Expenses Subject to Labor Markup

    5-103E (1d) Material or Work Done by Specialists, Lump Sum, or Unit Price Payments

    5-103E (1e) Signature of Prime Contractor’s Representative

    5-103E (2) Processing Form CEM-4902

    5-103E (3) Corrections to Change Order Bills

    5-103F Generating Estimates

    5-103F (1) Procedure

    5-103F (1a) Preparing Form CEM-6101, “Project Record—Estimate Request”

    5-103F (1b) Estimate Parameters

    5-103F (1c) Deductions

    5-103F (2) Computer Processing

    5-103F (2a) Estimate Edits

    5-103F (2b) Estimate Output

    5-103F (3) Potential Problems

    5-103G Approval of Estimates

    5-103G (1) Resident Engineer

    5-103G (2) District Director

    5-103G (3) Flagging an Estimate for Payment

    5-103H Reports Available Through the Contract Administration System

    5-103H (1) District (XX) Estimate Status

    5-103H (2) Project Management

    5-103H (2a) Project File Status Report

    5-103H (2b) Exceptional Contracts Report

    5-103H (3) District (XX) Project Status

    5-103H (4) Progress Payment-Work Done by Structure Construction (Copies)

    5-103H (5) Project Record-Estimate (Copies)

  • California Department of Transportation  Construction Manual  January 2019

    Project Records and Reports 5-1.iii

    5-103H (6) Status of Contract Items

    5-103H (7) Project Record Item Sheet

    5-103H (8) Status of Change Orders

    5-103H (9) Change Order Master Listing

    5-103H (10) Bridge Quantities by Structure

    5-103H (11) District (XX) Status of Anticipated Changes

    5-103H (12) Project Record-Estimate (Dummy)

    5-103H (13) Contract Contents Report

    5-103H (14) Contract Contents Report - Contract Item Records

    5-103H (15) Contract Contents Report - Contract Progress

    5-103H (16) DEWRs in Holding File

    5-103H (17) Daily Extra Work Report

    5-103H (18) Rental Rates and Codes for Miscellaneous Equipment

    5-103H (19) Reports for Structure Construction

    5-103I Field Audits by Accounting Office

    5-104 Final Construction Project Records

    5-104A General

    5-104B Public Access to Project Records

    5-104C Disposition of Construction Project Records

    Table 5-1.1 Construction Records Retention Schedule

    5-104D As-Built Plans

    5-104D (1) District Procedure on As-Built Plans

    5-104D (2) Procedure on As-Built Plans for Bridges and Structures

    5-104D (3) Projects Not on State Highways

  • California Department of Transportation  Construction Manual  January 2019

    Project Records and Reports 5-1.1

    Chapter 5 Contract Administration

    Section 1 Project Records and Reports

    5-101 Forms Used for Contract Administration

    5-101A General

    One of the duties of the resident engineer is to keep accurate and complete records of the

    work. This section includes a list of forms used in administering a construction project

    and maintaining records. Use forms not related directly to cont